SCRRA Design Procedures Manual

Transcription

1 SCRRA Design Procedures Manual November 2014

2 TABLE OF CONTENTS 1.0 FORWARD Purpose Changes/Updates Reference Standards Acronyms SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY Introduction The Metrolink Mission Statement Metrolink Commuter Operations The Metrolink System Services SCRRA Facilities and Infrastructures Operations Organization Funding Assets OPERATIONS AND SAFETY Overview Track Occupancy for Inspection and Data Collection Training Personal Protective Equipment Authorization to Enter Right-of-Way Conduct Safety Standards and Regulations Maintenance-of-Way Operating Rules and Instructions Metrolink Timetable Maintenance-of-Way Safety Instructions Bridge Worker Safety Instructions Roadway Worker On-Track Safety Instructions Track Maintenance and Engineering Instructions General Safety Regulations for Third Party Construction and Utility Workers on SCRRA Member Agency Property Standard Operating Procedures (SOPs) SCRRA DPM ii November 2014

3 3.4 Safety Training Costs PROJECT MANAGEMENT AND ADMINISTRATION Overview Contract Task Order-Based Contracts SCRRA Request for CTO Proposal CTO Proposal SCRRA CTO Approval Project Work Plan Project Records Quality Control/Quality Assurance Procedures Coordination with SCRRA Progress Meeting Scope Changes Minor Scope Changes Time Changes Significant Scope Changes SCRRA CTO Revision Approval Control of Subconsultants Progress Reports and Billings Schedule Budget and Labor Reports Monthly Progress Reports Invoicing and Payment PROJECT CLOSEOUT DESIGN DEVELOPMENT General Responsibility Professional License Design Standards and Regulatory Requirements Ownership of Documents Basis of Design Initial Meetings Project Definition Design Criteria and Deviations Special Design Considerations Design Variance SCRRA DPM iii November 2014

4 5.2.6 Design Change Authority Design Interface Issues Tracking Drawing Preparation Technical Specifications General Standard Specifications Project Specific Specifications Integration into Contract Documents Format Content Project Cost Estimate Overview Schedule of Quantities and Prices Third Party Coordination Utilities Fiber Optic Lines Third Party Permits Public Agency Interaction Interaction with Other Railroads Public Relations DESIGN SUBMITTALS, DELIVERABLES & REVIEWS Transmittal of Submittals Design Submittal Report Milestone Submittals Project Concept & Design Criteria (5% Design) Preliminary Design (30% Design) Interim Design (60% Design) Pre-Final Design (90% Design) Final Design (100% Design) Camera-Ready Post-Issuance Deliverables (Addenda) Conformed Documents Design Submittal Reviews General Review Period Concurrent Review by SCRRA and Other Agencies SCRRA Reviews SCRRA DPM iv November 2014

5 6.4.5 Comment Format Comment Response and Resolution Errors and Omissions DESIGN SUPPORT DURING CONSTRUCTION (DSDC) Meetings Request for Information (RFI) Reviews Change Notices (CN) Reviews Shop Drawing Reviews Shop Inspections Facility Acceptance, Start-UP, and Personnel Training As-Built Drawings Signal Testing POSITIVE TRAIN CONTROL (PTC) General Reportable Changes Timeline Requirements PTC Change Management Reporting Procedures for Design and Construction Reporting Procedures for Maintenance Surveying and Mapping PTC Database Conversion Post-Construction Documents Post-Construction Surveying and Mapping Track Charts and Composite Maps Accuracy Marking and Measuring Procedures SCRRA DPM v November 2014

6 LIST OF FIGURES Figure 2-1 Metrolink System Map... 6 Figure 2-2 SCRRA Organization... 9 Figure 3-1 Engineering & Construction Department Organization Figure 4-1 CTO Approval Process Figure 5-1 CPUC Application Process LIST OF TABLES Table 2-1 SCRRA Track Assets Table 5-1 Project Definition Report Contents Table 5-2 Format for Project Definition Report Table 5-3 Format for Specifications Table 5-4 Project Cost Estimate Percentages Table 5-5 Format for Bid Schedules LIST OF APPENDICES APENDIX A SCRRA STANDARD FORMS APPENDIX B SAMPLE DOCUMENTS SCRRA DPM vi November 2014

7 1.0 FORWARD 1.1 Purpose This document serves to define the procedures that govern the initiation, progress, and execution of design work for the Southern California Regional Rail Authority (SCRRA). The standards and procedures presented in this document shall also be used for projects undertaken by SCRRA member agencies or other agencies that could have significant impacts on Right-of-Way or SCRRA s facilities. The General Engineering Consultant (GEC) shall use this document in union with the SCRRA s referenced standards, codes, specifications, guidelines, and manuals. Strict compliance with this document is required in order to facilitate completion of the design in a timely manner. The GEC is either the On-Call Professional Engineering Service Consultant(s); the On- Call Signal and Communications Services Consultant; or Project Management, Construction Management and Staff Assistant Services Consultant(s). This is a control document and as such shall be updated on a periodic and as needed basis. The Director of Engineering and Construction will periodically issue revisions to this document. Special situations may call for variation from the recommended design practices, standards, policies and procedures, subject to SCRRA approval. Any deviation from the standards and procedures presented herein must be approved in advance by SCRRA. A process for requesting deviations from the recommended design practices and standards has been provided in this Manual. Review and acceptance of submittals by SCRRA shall not relieve the GEC of responsibility for the design and of the projects, including responsibility for errors and omissions in submittals, and deviations from accepted design plans. SCRRA advises the user to completely review this entire Manual and develop a thorough level of understanding prior to beginning a project or study involving the design of SCRRA projects. This document has been titled the SCRRA Design Procedures Manual, or the Manual for short. 1.2 Changes/Updates The most recent date shown in the lower right hand footer of each page is the effective date of this Manual. The most recent effective date shall supersede all previous versions. Revisions and updates to the Manual will be posted on the Metrolink website Users of this Manual shall be solely responsible for checking the website and utilizing the latest version. Those individuals who regularly use this Manual can provide valuable assistance in identifying needed updates and improvements. Forward any suggested changes or suggestions to this Manual to the Assistant Director, Standards and Design for consideration. Suggested changes or suggestions should be submitted in writing by completing SCRRA Form DPM-32: DPM Manual Comments Form. Each suggested change will be reviewed and responded to by a committee of SCRRA managers shown on SCRRA Form DPM-13: Request for Special Design Consideration Form. If SCRRA committee agrees with the suggested change, the Manual will be updated to reflect the change in the next revision. Corrections of any typographical errors contained SCRRA DPM 1 November 2014

8 herein that do not materially and significantly affect criteria will not require approval by the SCRRA committee. The current effective date of these Guidelines shall be November REFERENCE STANDARDS The design shall meet all applicable parts of the State of California general laws, California Public Utilities Commission (CPUC) requirements, FRA safety requirements, and the specific project requirements. Where any conflict in criteria exists, the stricter criteria shall govern. Unless specifically noted otherwise in these criteria, the latest edition of the standard, code, or guideline that is applicable at the time the design is initiated shall be used. If a new edition of or amendment to a standard, code, or guideline is issued before the design is completed, the design shall conform to the new requirements to the extent approved or required by the agency enforcing the standard, code, or guideline changed. SCRRA has developed a number of standard plans, specifications, and manuals that shall be applied to this project. In particular, standard plans and specifications shall be used wherever possible to reduce engineering and s. All standards and manuals shall be adhered to throughout this project unless waived in writing by SCRRA Director of Engineering and Construction. The most recent editions of the following publications and documents shall be used: AASHTO ADA APWA REFERENCES American Association of State Highway and Transportation Officials, Geometric Design of Highways and Streets Americans with Disabilities Act requirements American Public Works Association, Standard Plans for Public Works Construction, APWA American Public Works Association, Standard Specifications for Public Works Construction (SSPWC), Green Book AREMA American Railway Engineering and Maintenance-of-Way Association (AREMA) Recommended Practice CALTRANS Caltrans, Highway Design Manual (HDM), Standard Plans, and Standard Specifications CALTRANS Caltrans, The California Manual on Uniform Traffic Control Devices (CA MUTCD) CBC California Building Code CFR Code of Federal Regulations (CFR), Title 23 and Title 49 CPUC CPUC California Public Utilities Commission General Orders California Public Utilities Code (PU Codes) FRA Federal Railroad Administration, Track Safety Standards, particularly 49 Code of Federal Regulations (CFR) 213, 214, 234, and 236 FRA Federal Railroad Administration - U.S. Department of SCRRA DPM 2 November 2014

9 FTA ITE OSHA UBC WATCH Transportation, Railroad-Highway Grade Crossing Handbook Federal Transit Administration, Federal Highway Administration (FHWA) Institute of Transportation Engineers, Traffic Engineering Handbook State of California Division of Occupational Safety and Health safety orders Uniform Building Code, including seismic requirements Work Area Traffic Control Handbook SCRRA MANUALS CADD Drafting Standards, Guidelines, and Criteria Design Criteria Manual Design Procedures Manual Design Quality Assurance Plan Engineering Standards Highway-Rail Grade Crossings Recommended Design Practices and Standards Manual Standard Specifications Track Maintenance, Right-of-Way and Structures Engineering Instructions SCRRA GUIDELINES Excavation Support Guidelines Grade Separation Guidelines Landscape Design Guidelines Quiet Zone Implementation Guidelines and Procedures Rails-with-trails Design Guidelines Temporary Traffic Control Guidelines 1.4 Acronyms The following acronyms are used in this Manual: ADA APWA AREMA ASTM BNSF Caltrans C&S CADD CCB CFR CMF CMP CPM Americans with Disabilities Act American Public Works Association American Railway Engineering and Maintenance of Way Association American Society for Testing and Materials Burlington Northern & Santa Fe Railway California Department of Transportation Communications and Signals Computer-Aided Drafting and Design Configuration Control Board Code of Federal Regulations Central Maintenance Facility Change Management Process Capital Program Management SCRRA DPM 3 November 2014

10 CPUC CTO DBE DSA DSDC DQAP EIC FCC EAMF FRA GEC GO IEEE IEOC IFB METRO MOC MSF NCTD NEC NEMA NPDES OCTA OSHA PM PM/CM/SA PTC PWP QA/QC RCTC ROW SANBAG SCAG SCRRA SOP SSPWC SWPPP TCOSF UP USA VCTC California Public Utilities Commission Contract Task Order Disadvantaged Business Enterprises Design Services Agreement Design Support During Construction Design Quality Assurance Plan Employee-In-Charge Federal Communication Commission Eastern Area Maintenance Facility Federal Railway Administration General Engineering Consultant General Orders Institute of Electrical and Electronic Engineers Inland Empire Orange County Invitation for Bids Los Angeles County Metropolitan Transportation Authority Metrolink Operations Center Melbourne Maintenance Support Facility North County Transit District National Electrical Code National Electrical Manufacturers Association National Pollutant Discharge Elimination System Orange County Transportation Authority Occupational Safety and Health Administration Project Manager Project Management, Construction Management and Staff Assistance Positive Train Control Project Work Plan Quality Assurance/Quality Control Riverside County Transportation Commission Right-of-Way San Bernardino Associated Governments Southern California Associated Governments Southern California Regional Rail Authority Standard Operating Procedures Standard Specifications and Plans for Public Works Construction Storm Water Pollution Prevention Plan Train Controls Operations Support Facility Union Pacific Railroad Underground Service Alert Ventura County Transportation Commission SCRRA DPM 4 November 2014

11 2.0 SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY 2.1 Introduction In August 1991, SCRRA, a regional Joint Powers Agency (JPA), was formed. Voting members with their respective number of votes are: Los Angeles County Metropolitan Transportation Authority (Metro), four votes; Orange County Transportation Authority (OCTA), two votes; Riverside County Transportation Commission (RCTC), two votes; San Bernardino Associated Governments (SANBAG), two votes; and Ventura County Transportation Commission (VCTC), one vote. Ex-officio members of the SCRRA include the Southern California Association of Governments (SCAG), the San Diego Association of Governments, and the State of California Department of Transportation (Caltrans). SCRRA was established to plan, design, construct, operate, and maintain regional commuter rail lines that serve the counties of Los Angeles, Orange, Riverside, San Bernardino, and Ventura. SCRRA named the regional commuter rail system "Metrolink". The first three lines (San Bernardino, Santa Clarita, and Ventura) started operation in October The Riverside Line started operation in June 1993, and the Orange County Line, which extends 19 miles into northern San Diego County, started operation in March The sixth line, Inland Empire-Orange County, began operation in October Most recently, SCRRA initiated service of the 91 Line (Riverside- Fullerton-Downtown LA) in May SCRRA s service territory is located in the Southern California metropolitan region. The operating environment can be typically categorized as urban and suburban, with some limited rural or undeveloped regions. With a system comprising 512 (includes shared miles) and 388 (excludes shared miles) route-miles, Metrolink is the nation s second largest commuter rail system, second only to the Long Island Railroad. SCRRA is implementing an interoperable Positive Train Control (PTC) System on all of its line segments where passenger operations are conducted (as set forth in the Rail Safety Improvement Act of 2008 (RSIA08) and 49 CFR 236 Subpart I). The purpose of a PTC System is to prevent train to train collisions, over speed accidents, incursion into work zones, and movements through a misaligned switch by requiring automatic control systems to override mistakes by human operators. This PTC system will be designed and implemented to follow the standard and guidelines established by the Interoperable Train Control (ITC) Committee, which is composed of the four largest U.S. freight railroads BNSF, CSX, NS, and UPRR. In addition to and concurrently with the implementation of the PTC System, SCRRA is replacing its current computer aided dispatch (CAD) system with a new system that includes both a primary and secondary redundant/backup system Metrolink Mission Statement SCRRA mission is to provide an outstanding passenger experience on every ride with safe, clean, dependable, and on-time operations. SCRRA DPM 5 November 2014

12 SCRRA does everything that demonstrates an appreciation for quality of life, and every act values the lives of our employees, contractor co-workers, customers and communities. SCRRA operates on best practices and principles with a continued focus on providing high quality service to our customers every day on every ride. SCRRA embraces innovative solutions and continuous improvement for the lowest and most efficient operations. SCRRA continuously seeks creative, progressive and collaborative solutions to promote investment, develop partnerships and increase capacity to improve the mobility of Southern Californians. Since 2008, Metrolink implemented several safety enhancements in its mission to become the safest commuter railroad in the nation. They include: Enhanced safety testing program that assesses the performance of contractor train crews Purchased 137 Guardian Fleet cars equipped with crash energy management technology Installed Automatic Train Stop technology at 49 locations to improve engineer situational awareness Became the first railroad company in the nation to install inward-facing video cameras in its locomotives Working to implement Positive Train Control technology throughout our system ahead of the federal mandate Partnered with the USC Viterbi School of Engineering to design and institute an advanced Rail System Safety Certification Program, an industry first that will pioneer efforts to standardize system safety leadership principles Awarded operating contract to Amtrak because of its commitment to passenger safety and complementary programs that enhance Metrolink s safety efforts 2.2 Metrolink Commuter Operations Metrolink System SCRRA operates service on seven lines. These are: Ventura County Line Antelope Valley Line San Bernardino Line Riverside Line Orange County Line Inland Empire-Orange County Line 91 (Riverside-Fullerton-Downtown LA) Line All operations currently run Monday through Friday. Additional weekend services are provided on four (4) lines: the San Bernardino Line, Antelope Valley Line, Orange County Line, and Inland Empire-Orange County Line. SCRRA DPM 6 November 2014

13 With the exception of the Inland Empire-Orange County Line, all services extend from the terminal station to LA Union Station. Metrolink has no operations on the following holidays: New Year's Day, Memorial Day, Independence Day, Labor Day, Thanksgiving Day, and Christmas Day. Amtrak, BNSF, and UP, however, operate every day of the year on many SCRRA lines. Figure 2-1 below shows the Metrolink System including stations and connecting rail transit lines: FIGURE Services Hours of operation vary by line. Scheduled passenger services are shown on the most recently issued passenger schedule, which may be obtained from the official Metrolink SCRRA DPM 7 November 2014

14 website at Additional special event trains may be operated on some weekends SCRRA Facilities and Infrastructure Metrolink operates on conventional railroad track and Right-of-Way, which are owned either by one of the County Transportation Agencies or a private freight railroad company that has conveyed operating rights to SCRRA. The design, operation, and maintenance of the Metrolink System are governed by Federal Railroad Administration (FRA) regulations and California Public Utilities Commission (CPUC) General Orders (GO). SCRRA owns a fleet of locomotives and coaches that are maintained at the Metrolink Central Maintenance Facility (CMF) located at 1555 San Fernando Road, Los Angeles, CA. Vehicle inspection and light repair is also performed at various layover sites throughout the system. A new maintenance facility was completed in October 2009 in the City of Colton (1945 Bordwell Street, Colton, CA 92324) to service SCRRA locomotives and coaches. Metrolink train operations are dispatched from the Metrolink Operations Center (MOC) located at 2558 Supply Street, Building A, Pomona, CA. MOC is manned 24 hours a day, 365 days per year. SCRRA is in a process of building a new Train Controls Operations Support Facility (TCOSF) at the northeast corner of Geary Avenue and SCRRA s Pasadena and San Gabriel Subdivision in the City of Pomona. This facility will house Metrolink dispatching, safety and other critical operation personnel. The facility is estimated to be complete by the end of Operations In addition to Metrolink service, the SCRRA system tracks also carry Amtrak passenger operations and freight operations. The primary freight carriers on the system are the BNSF and the UP. 2.3 Organization A board of directors, consisting of 11 members, who represent the five counties that comprise the agency, governs the SCRRA. An executive staff manages the operation of the system. Figure 2-2 (next page) reflects the organization of the SCRRA operation: SCRRA DPM 8 November 2014

15 FIGURE 2-2 SCRRA DPM 9 November 2014

16 2.4 Funding The SCRRA receives operating and capital funding from many sources. Metrolink fare box returns account for the largest portion of the operating for the system. Additional operating subsidies are received from the constituent counties based on a formula of the service miles in their county. Other sources of operating funds include utility easement fees, advertising revenue, and railroad user charges. Capital funding is received from several sources and can vary year-to-year and projectto-project. The primary source of capital funds is from the constituent counties of the SCRRA. Other capital funding is received from federal sources and the State of California. Metrolink also obtains funds from third parties whose contracts require certain work to be performed by SCRRA forces. This is referred to as recollectable work. 2.5 Assets The real estate holdings maintained and operated by SCRRA are owned by the individual counties that comprise the authority. The fixed improvements and equipment are owned collectively by the counties that are partners in the SCRRA Joint Powers Authority (JPA). Asset ownership is presented below in Table 2-1: Table 2-1 SCRRA Track Assets Real Property Owner Ventura County Line In Los Angeles County: Metro & UP In Ventura County: VCTC & UP Antelope Valley Line River Corridor (Dayton to Soto) Metro Metro San Bernardino Line In Los Angeles County: Metro In San Bernardino County: Riverside Line Riverside Terminal: RCTC rest of Riverside Line: UP Orange County Line Los Angeles to Fullerton: BNSF Fullerton to San Clemente: OCTA In San Diego County: NCTD IEOC Line Riverside to Atwood: BNSF Atwood to Orange: OCTA 91 Line BNSF Central Maintenance Facility Pomona MOC Passenger Stations SCRRA SCRRA SANBAG Varies; however, station sites are typically owned by the local municipality SCRRA DPM 10 November 2014

17 3.0 OPERATIONS AND SAFETY 3.1 Overview It is the explicit intent of the SCRRA to promote a safe operating commuter rail system. All the guidelines described in this manual are developed with the intent of promoting a system which provides for the safety of the rider, the general public, the roadway worker, and those having business on SCRRA property. All the actions of the Authority and of the contractors/gecs doing business for the Authority must be consistent with the SCRRA worker safety rules. The organization of SCRRA s Engineering and Construction Department is presented in Figure 3-1 (see next page). 3.2 Track Occupancy for Inspection and Data Collection As an operating railroad property, SCRRA s Right-of-Way presents inherent hazards. All individuals entering SCRRA property for any reason must be properly trained, equipped, and authorized to enter the Right-of-Way. While on SCRRA property, all persons must act in accordance with SCRRA safety regulations, as well as the referenced regulations having jurisdiction; these include the Federal Railroad Administration (FRA) and the Occupational Safety and Health Administration (OSHA), among others Training All GEC and subconsultants employees entering SCRRA Right-of-Way are required to have a training program that complies with SCRRA and applicable FRA Bridge Worker Safety and Roadway Worker On-Track Safety Instructions CFR 49 Part 214. GEC and subconsultants and their employees will be required to supply satisfactory evidence of compliance with necessary FRA and SCRRA training and certifications before entering SCRRA Right-of-Way Personal Protective Equipment All persons, including GECs and contractors, who have business to occupy the SCRRA property are responsible to equip themselves properly according to the SCRRA Maintenance-of-Way Safety Instructions, as well as the referenced regulations having jurisdiction; these include those of the FRA and the OSHA, among others. Minimum equipment includes proper footwear, safety vest, hardhat, and safety glasses. All persons shall have the current SCRRA safety training sticker and shall carry personal identification with photograph. All safety equipment necessary for the tools and equipment in use must be in place and properly operating. Employees will have a copy of the Maintenance of Way Operating Rules and Instructions, the current timetable, and the General Order in effect in their possession. SCRRA DPM 11 November 2014

18 FIGURE 3-1 SCRRA DPM 12 November 2014

19 3.2.3 Authorization to Enter Right-of-Way The GEC shall notify the SCRRA ROW Crossings Coordinator of the need to enter the Right-of-Way in advance of doing so. The procedure and requirements for authorizing access varies according to the nature of the activities to be performed within the Rightof-Way. Activities within the Right-of-Way will require scheduling of an employee-in charge by SCRRA. The movements of oversize vehicles over SCRRRA maintained and operated crossings require a fully executed SCRRA Form No. 4: Agreement for Moving Oversized Loads Over Highway-Rail Grade Crossings. Unobtrusive activities within the Right-of-Way require completion and execution of SCRRA Form 5: Indemnification and Assumption of Liability Agreement, unless otherwise provided for in the GEC contract. Most other activities within the Right-of-Way will require completion and execution of SCRRA Form 6: Temporary Right-of-Entry Agreement. The Right-of-Entry will require that the company requesting access provide evidence of railroad protective insurance. Preparation of a health and safety plan may also be required. The process for obtaining approval to occupy the railroad Right-of-Way is further described in SCRRA Form 36: Right-of-Way Encroachment Approval Procedures. The GEC and its subconsultants will not be required to assume responsibility of flagging s required to perform activities included in the approved CTO and authorized by SCRRA. Refer to Metrolink website for more information. The rules and requirements to protect SCRRA s operations, including the proper manner of protecting the tracks, signals, fiber optic cables, pipe lines, other property, and tenants or licensees, as described in the SCRRA Form 37: Rules and Requirements for Construction on Railway Property, shall be adhered to during and/or maintenance activities on or adjacent to railway property Conduct All persons, including GECs and contractors who have business to occupy the SCRRA Right-of-Way, must conduct themselves in a safe and responsible manner that does not jeopardize the operations of the railroad, the safety of the public, or the safety of the individual and others working on the Right-of-Way. All persons shall conduct themselves as described in the Maintenance of Way Operating Rules and Instructions and the General Safety Regulations for Third Party Construction and Utility Workers on SCRRA Property. 3.3 Safety Standards and Regulations As an operating railroad under the jurisdiction of the FRA and the CPUC, the SCRRA is governed by the regulations of those agencies. Further, Metrolink operates under the Maintenance of Way Operating Rules and Instructions. Various other safety manuals and requirements govern contractors and others working on SCRRA Right-of-Way. These are briefly described in the subsections to follow. It is the GEC s responsibility to SCRRA DPM 13 November 2014

20 obtain, be familiar with, and conduct themselves and their employees and subconsultants in accordance with each of these manuals Maintenance-of-Way Operating Rules and Instructions (MOWORI) These rules govern the operations of the railroads listed, for efficiency of operation, and for the protection of the railroad companies and the traffic they transport. These rules also govern: Employees of the Maintenance-of-Way Division Employees of the Communications and Signal Division Employees of Contractors performing work on or about the railroad while under contract of the railroad Flag persons protecting the work on or about the railroad, and; Operators of on-track equipment All employees, regardless of gender or firm, whose duties require occupancy of the railroad Right-of-Way, must comply with the latest Maintenance of Way Operating Rules and Instructions rules. The current Rules supersede all previous rulebooks and instructions Metrolink Timetable The timetable governs the operation of the Metrolink Commuter Rail Service. All employees, whether under direct employment by or under contract to SCRRA, whose duties are affected by train operations, must comply with the timetable in effect. The current timetable supersedes all previous timetables and instructions. It includes System Special Instructions (All Subdivisions) & Additions and Revisions to MOWORI. The timetable is periodically reissued and shall be in force until replaced Maintenance-of-Way Safety Instructions The SCRRA Maintenance-of-Way Safety Instructions governs all employees of the SCRRA and their contractors while working in the railroad Right-of-Way. It is the responsibility of each employee to keep this book readily available and be familiar with the specific rules that pertain to their assignment or craft. The information contained in this book is based on careful judgment and years of experience, and is condensed from several manuals into this convenient form for each employee s personal use. The intention of these safety rules is to keep employees working on SCRRA property mindful that safety is of the utmost importance. For this reason, employees to whom these rules and regulations apply shall: Be furnished a copy of the safety rules and regulations Be required to study these rules and regulations and pass required examinations Know and understand their application Obey them while on duty or on company property SCRRA DPM 14 November 2014

21 Immediately call to the attention of a fellow employee any action not in compliance Hold daily safety meetings prior to beginning work SCRRA management will regularly make observations and checks of work occurring in the Right-of-Way and advise SCRRA s Safety Manager to take the necessary action(s) to ensure compliance with the safety rules and regulations. When conditions arise which are not covered by the rules, employees are expected to use sound judgment in applying the principles of safety. A thorough understanding of the Safety and General Rules is a prerequisite to the exercise of sound judgment Bridge Worker Safety Instructions The purpose of Bridge Worker Safety Instructions is to prevent accidents and casualties to employees involved in certain railroad inspection, maintenance, and activities. These Instructions applies to all employees and contractors and their employees who perform work that is within the scope of this Instructions. These Instructions prescribes the Federal safety standards for the railroad workplace safety subjects addressed herein. This policy does not restrict a worker or railroad contractor from adopting and enforcing additional or more stringent requirements not inconsistent with these Instructions. These Instructions are intended to conform to CFR 49 Part 214. Where discrepancies might exist, CFR 49 Part 214 shall be the controlling factor, except that the most restrictive rule shall apply in all cases. Any person (including any manager, supervisor, official, or other employee or agent of SCRRA or an SCRRA contractor) who violates any requirement of these Instructions or causes the violation of any such requirement is subject to all of SCRRA s policies concerning rules violations and Federal civil penalty of at least $250 and not more than $10,000 per violation, except that penalties may be assessed against individuals only for willful violations. Where a grossly negligent violation or a pattern of repeated violations has created an imminent hazard of death or injury, or has caused death or injury, a penalty not to exceed $20,000 per violation may be assessed. See Appendix A to the policy for a statement of agency civil penalty policy. Fines for contractor employee actions are the responsibility of the contractor or employee Roadway Worker On-Track Safety Instructions The objective of these Instructions is to provide all employees of SCRRA and their contractors with the rules, guidelines, and policies which conform to the FRA Regulations concerning Roadway Work Protection. The purpose of these instructions is to prevent accidents and injuries that result from being struck by trains or on-track equipment while performing duties. This manual gives the responsibilities of the Roadway Worker, Employee-in-Charge (EIC), Lone Worker, Watchman/Lookout, and Roadway Maintenance Machine Operator, as well as the procedures for providing protection from trains or on-track equipment, clearing of tracks, and working in various settings. These Instructions were prepared as a guideline, placing all safety, operating rules and procedures pertaining to on-track safety into one document, providing you with easy SCRRA DPM 15 November 2014

22 reference when on or about the track in any roadway worker capacity. Employees providing on-track safety for themselves or others must have these Instructions readily available at all times. Similar federal penalties and fines apply to Roadway Worker safety as described in Section 3.3.4, above Track Maintenance, Right-of-Way and Structures Engineering Instructions The Track Maintenance and Engineering Instructions are for the use of all SCRRA employees, contractors, and GEC s who comprise the SCRRA engineering team. Its instructions, policies, and guidelines cover many aspects of Railroad Engineering and Maintenance-of-Way activities General Safety Regulations for Third Party Construction and Utility Workers on SCRRA Property The General Safety Regulations for Third Party Construction and Utility Workers on SCRRA Property provides instructions to third party contractor personnel working within SCRRA Right-of-Way. This manual is thoroughly reviewed at mandatory contractor safety training. Each trainee acknowledges receipt by signature after completion of training Standard Operating Procedures (SOPs) SCRRA has developed SOPs for 20 safety critical functions related to its commuter rail system. These SOPs are in accordance with the SCRRA s System Safety Plan developed under APTA System Safety Requirements. Of the 20 safety critical functions, seven are related to operation, seven related to mechanical, and three related to engineering. Operating and flagging rules, track quality, and signal quality SOPs apply to engineering. 3.4 Safety Training Costs It is the responsibility of the GEC to include in price proposals the of yearly in-class training for its staff. SCRRA may provide materials and classroom for training of GEC personnel. GEC personnel must attend the safety classes. SCRRA DPM 16 November 2014

23 4.0 PROJECT MANAGEMENT AND ADMINISTRATION 4.1 Overview SCRRA utilizes various mechanisms to procure design services for SCRRA infrastructure and facilities. Typically, SCRRA contracts for a GEC to provide engineering and design services to the SCRRA. These services may include track, structure, facility, signal, communication, and other specialty services as necessary. SCRRA may elect to utilize site-specific design or design-build contracts for projects that are of sufficient size or specialty. SCRRA may also utilize design services from GECs under contract to third parties doing business with the SCRRA, or may require third party designs to be reviewed by SCRRA staff and/or SCRRA GECs. Each SCRRA design project may be assigned a CTO Project Manager, who may be an SCRRA employee, an employee of the GEC, or an employee of another consulting firm. The CTO Project Manager, however, shall not be an employee of the GEC assigned to provide engineering services for that project. 4.2 Contract Task Order-Based Contracts GECs providing services through a GEC contract will be authorized to work on a contract task order (CTO) basis. The GEC shall manage the concurrent development of designs under approved CTOs in a manner that assures that work satisfies the standard of care requirements of the contract, and that the work is completed on schedule, within the approved budgets, and in satisfactory response to the scope of work. The CTO approval process is described below SCRRA Request for CTO Proposal The CTO Project Manager and/or SCRRA Project Manager (Assistant Director, Standards and Design) will complete SCRRA Form DPM-03: CTO Request for Proposal, indicating the scope of work (a detailed scope of work may require additional attachment for larger complex projects) and SCRRA Form DPM-06: CTO Cost Estimate, indicating the estimated for the design services. The CTO is entered into Oracle by the Department Assistant. If the funding is provided by federal grants or funds, this form and a DBE Contract-Specific Goal Setting Request Form will be provided to SCRRA Contracts Department to obtain DBE goals from the SCRRA DBE GEC. Once the DBE goal is obtained, the SCRRA Project Manager provides the scope of services and DBE goals to the GEC to request a CTO proposal for the design services CTO Proposal The GEC Project Manager shall respond to the request for CTO proposal within ten (10) business days with a detailed scope of services and fee proposal. Should the complexity of the scope of services require additional lead time for proposal preparation, the GEC shall notify the SCRRA Project Manager so that a mutually agreeable submission deadline can be determined. SCRRA DPM 17 November 2014

24 The Proposal shall be developed by the GEC in collaboration with the SCRRA Project Manager and shall include a schedule, budget, and scope of work with sufficient detail to define the work limits, the facilities/infrastructure to be constructed or rehabilitated, and the specific performance requirements that the design shall achieve. If the scope of the services is not clearly identifiable, or the program budget not specifically defined, the CTO proposal shall be limited to concept or preliminary level to provide for refinement of the scope and budgetary requirements. In the case of a study or report, the GEC shall define the issue to be addressed and any factors for consideration. Further, the GEC shall define any schedule requirements and any budgetary limitations that affect the task. Specifically, the CTO proposal shall include the following elements: CTO Task Manager In each CTO proposal the GEC shall identify a proposed CTO Task Manager, who will be responsible for the day-to-day performance of work under the CTO. The CTO Task Manager shall be subject to the approval of the SCRRA Project Manager and SCRRA Project Manager. Scope of Work The task proposal shall contain a narrative description of the purpose of the project (e.g., speed increases) and specific work to be performed under the CTO. The scope of work shall define assumptions used in developing the scope and estimate, and shall address known risks associated with these assumptions. Standards and criteria that will be applied in performing the work under the CTO shall be cited. The GEC shall include in the proposed scope all necessary architectural/engineering services required to complete the assigned work. The scope shall include the investigation or verification of actual field conditions through document search, site visits, field surveys, utility potholing, and/or geotechnical investigations (as appropriate) as well as aerial photogrammetry, if budget allows. Various subtasks shall be identified in the scope of work and the interrelationship of each of the subtasks shall be defined. Specific in-progress and final deliverables that will be made under the CTO shall be itemized. Proposed phasing of work progress shall also be identified. Progress submittal requirements are defined in Chapter 6. SCRRA has prepared Scope and Submittal matrices for various subjects and subtasks for each milestone submittals. The GEC will prepare the detailed design as per these matrices. Milestone Schedule The task proposal shall contain a schedule for execution of the engineering or design that defines the time required to complete each subtask and function. Specific submittal milestones shall be identified. The GEC shall, prior to submittal, review all progress and final submissions and that review period shall be specifically identified in the task schedule. Other outside predecessor and successor relationships shall be specifically identified. Additional submittals to third parties shall be identified and sufficient time for review shall be included according to that party s general practice. Refer to Section for lead times for SCRRA review. The schedule shall start and shall be tracked based upon the date of CTO Notice to Proceed (NTP). SCRRA DPM 18 November 2014

25 CTO Estimate The CTO estimate shall present all estimated s required to complete the work described in the CTO proposal, including labor s (comprised of direct labor and allocated overhead), subconsultants s, other direct s, and fixed fee. The nature of s included shall be consistent with the provisions of the GEC contract. Detail shall be provided to show proposed staff (including name, classification, and hourly rate) required to complete each element of the work. Where appropriate, s shall be broken down by phases (e.g., Concept Design, Preliminary Design, Interim Design) to allow for issuance of limited notice(s) to proceed by SCRRA. The CTO estimate shall be submitted on SCRRA Form DPM-7: CTO Pricing Proposal. A separate Form DPM-7 shall also be provided for each subconsultant. The GEC will also complete SCRRA Form DPM-1: Contract Task Order (CTO) Cost Summary. The CTO estimate submitted by the GEC will be reviewed and compared to the estimated at the beginning of the CTO process by the CTO Project Manager and/or SCRRA Project Manager. Appropriate changes will be made to GEC estimate and the final CTO proposal will be mutually determined and agreed. CTO Project Manager will check to see if the CTO fits within the current Contract authority and the CTO Project Manager will check to see if the CTO fits the current funding limits of the project. The GEC will try to use the same persons and classifications provided in the CTO as much as possible. Persons with higher hourly rates and higher classifications shall not be used for a particular task which can be done by classifications provided in the CTO. The GEC shall keep track of actual personnel used for the services shown on the CTO on a regular basis. Any major changes in persons affecting the CTO services or fees shall be promptly corrected and reported to SCRRA SCRRA CTO Approval The CTO Project Manager and/or SCRRA Contract Manager will approve the CTO and other documents and forms submitted by the GEC. The CTO package [CTO with original signatures, GEC forms, DBE form and goal (if applicable), CTO Project Manager s request for Proposal, scope of work, independent estimate, updated PM sheet, and any other pertinent documents] will be forwarded by the Department Assistant to the Project Management Oversite Coordinator, who will maintain a CTO tracking log. Project Management Oversite Coordinator will ensure that the CTO package is complete and that the CTO Project Manager and SCRRA Project Manager have signed the CTO, then put the CTO into a routing folder and process for approval from Project Management Oversite Department, Director of Engineering and Construction, and Contract Department. Once all internal department signatures have been obtained, the CTO is entered into Oracle by the Project Management Oversite Coordinator and then forwarded to the appropriate Department Assistant. The Project Management Oversite Coordinator will review the contract terms and, if the CTO is within the original estimates, update the transaction already in Oracle for a PO/Contract Number. The Project Management Oversite Coordinator, after the Oracle update, will retain a copy of the CTO and all back-up material for the contract file and return the package to Department Assistant. The Department Assistant will create a PDF file of the CTO package; insert an e-copy into Engineering Drive; a notice to the CTO Project Manager, and SCRRA Project Manager, to let them know that CTO is SCRRA DPM 19 November 2014

26 complete and the PDF version is available in the Engineering Drive. The CTO Project Manager will a PDF copy of the CTO with a Notice to Proceed letter to the GEC to start the design services included in the approved CTO. 4.3 Project Work Plan Upon receipt of Notice-To-Proceed from SCRRA, the GEC will develop a Project Work Plan (PWP) for their use and provide a copy to the SCRRA Project Manager. The PWP shall address, but not be limited to, the following: A description of the Project and of all activities necessary for completing the scope of work Detail scope of work, schedule and project design fee List of performance criteria; i.e., design and speed, design life, and standards to be incorporated in the design Prior studies and estimates upon which the work will be based (attach or reference copy if available) List of key personnel (GEC and SCRRA) and project responsibilities Priority works to be performed Project management approach including team organization, team decision making, roles and responsibilities List of stakeholders, including SCRRA departments, cities, permitting agencies, etc. Lines of communication between GEC, SCRRA, and other agencies Enumeration of what is expected of SCRRA and other agencies Project filing system (See Section 4.4 below) Quality assurance and control procedures (See Section 4.5 below) SCRRA may request modifications or revisions to the PWP. The PWP shall be updated as appropriate throughout the period of design and shall serve as the management document for the task. 4.4 Project Records At the beginning of the job the GEC will submit to SCRRA, for approval, a procedure to control all documents and data that pertain to the work under the CTO. These include all hard copies and electronic files of internal and external origin such as: Studies Reports Calculations Standards Record Drawings Engineer s Estimate Technical Specifications Meeting Minutes/Resolutions SCRRA DPM 20 November 2014

27 Correspondence For each CTO assignment, the SCRRA Project Manager will provide the GEC with a SCRRA Project File Number, which represents a specific location and type of work. All correspondence shall include this number for reference and tracking. 4.5 Quality Control/Quality Assurance Procedures The GEC and its subconsultants shall comply with the SCRRA Design Quality Assurance Plan. The Consultant is required to have an effective quality assurance/quality control process, which defines the procedures that govern the initiation, progress and execution of design work. The Consultant shall provide specific information on qualifications, experience and roles of the QA/QC manager and other personnel involved in QA/QC. It will be the GEC s responsibility to verify that all deliverables, including schematics, reports, and studies, have been reviewed for quality prior to their submittal to SCRRA. 4.6 Coordination with SCRRA The GEC shall maintain ongoing communications with SCRRA throughout the development of project designs. Regular coordination with SCRRA will allow for timely project planning and decision-making. Primary points of contact with SCRRA will be: CTO Project Manager Assistant Director, Program Management Office Assistant Director, Standards and Design Assistant Director, PTC Technical Services For issues related to project scope,, schedule, design and progress, interdepartmental coordination, and third party coordination For project management issues related to scope, schedule, and controls; and contract compliance support For civil engineering issues related to contract authority, CTO budget and expenditures, progress schedule, design criteria (including SCRRA Engineering Standards and Standard Specifications), or design policy For signal and communication issues related to contract authority, CTO budget and expenditures, progress schedule, design criteria (including SCRRA Engineering Standards and Standard Specifications), or design policy This shall not prevent the GEC from responding to requests for information from other SCRRA staff or from member agencies; however, one or both of the above points of contacts shall be notified of such requests and provided with copies of responses. The GEC shall notify both the SCRRA Project Manager and the SCRRA CTO Project Manager (Assistant Director, Capital Construction and Rehab; or Assistant Director, Standards and Design; or Assistant Director, PTC Technical Services) immediately when such a request would require work outside of the approved CTO scope. SCRRA DPM 21 November 2014